Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. FINRA is the developer and operator of IARD. The system has been developed according to the requirements of its sponsors, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA), along with those of an Industry Advisory Council representing the investment adviser firms.

Information geared to the investing public can be found on the SEC website under the “Investor Information” section.

What’s New on IARD

Please look to this area of the home page on a frequent basis for regular updates, new information, and documents about how to use IARD. IARD is generally available from 5 a.m. to 11 p.m., Eastern Time (ET), Monday through Friday. Please refer to the IARD Availability Schedule for detailed weekend and holiday availability.
  • 2016 IARD Renewal Program
    The IARD Renewal Program facilitates the annual renewal of investment adviser (IA) firms and their IA representatives' (RAs) registrations with jurisdictions/states. For the 2016 renewal season, Preliminary Renewal Statements will be available beginning November 16, 2015, and the deadline for receipt of Preliminary Renewal Statement payments is December 18, 2015.

  • Web CRD/IARD Software Release 2015.09
    View an explanation of changes which were implemented with the software release on September 12, 2015. As part of the release, three significant changes were introduced: 1) Enhanced state zip code validation. Zip codes must map to a corresponding U.S. state on all Form U4 filings or will fail the Completeness Check; 2) Users will no longer be able to enter country names on Form U4 free text fields and will now be required to select the applicable country from a defined list and; 3) CRD will no longer systematically convert text entered on Forms U4, U5 and U6 to uppercase. Filings will retain upper and lower case text as entered on the form filing.

  • Form ADV-E Guidance for Independent Public Accountants
    A quick reference guide to the Form ADV-E Surprise Examination Filing Website is now available for independent public accountants conducting a surprise inspection of an investment adviser firm.

  • FINRA.org: Add to Safe-Sender Email List
    FINRA is the operator of IARD on behalf of the IARD program sponsors which are the SEC and NASAA. In order to ensure consistent delivery of FINRA emails to your inboxes, please add our email domain, FINRA.org to your firm's safe-sender list as soon as possible. If your email application requires you to enter individual email addresses to your safe-sender list in addition to, or in lieu of, an email domain, please add the following addresses:

    Also, if you are an SEC-registered IA firm, please add: SECIARDNotifications@finra.org

  • SEC Hedge Fund Rule Update:
    Visit the SEC website for information on Staff Guidance for Interim Completion of Part 1A of Form ADV, Item 7.B. and Schedule D, Section 7.B.